On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataFINRA requires that all Portfolio Margin (PM) member firms submit their PM data via a file upload (fileX Upload).For more information on the expanded data requirements, please download version 2.0 of the
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Proxy statements are typically sent in the spring, indicating the start of “proxy season”—when most public companies prepare to hold their annual shareholders meetings. The proxy statements provide information relevant to shareholder votes scheduled for those meetings, including board elections, compensation packages, and shareholder proposals.
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Bank Notification Used In Conjunction With A Special Reserve Bank Account For The Exclusive Benefit Of Customers
In order to protect customer cash held at a clearing firm, SEC Rule 15c3-3 requires that customer cash and other customer credits be deposited into a Special Reserve Bank Account for the Exclusive Benefit of Customers (Reserve Account). This requirement serves as a safeguard for
See link to FINRA Regulatory Notices 21-31, which includes the schedule and instructions:
https://www.finra.org/sites/default/files/2021-09/Regulatory-Notice-21-31.pdf
SECTION 1. REVERSE REPURCHASE AND REPURCHASE AGREEMENTS
Question 1.1: The instructions under Section 1 state in part that members should report the gross contract value of all reverse repurchase and repurchase agreements by
Revised Last Voting Date: September 14, 1998
(Note: voting by NASD member Executive Representatives only through mail ballots distributed with print version of this Notice.)
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers,
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
The Direct Market Access Controls section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA requests comment on a concept proposal regarding the application of FINRA rules to security-based swaps (SBS) following the Securities and Exchange Commission’s (SEC) completion of its rulemaking regarding SBS dealers and major SBS participants. Current FINRA Rule 0180, which will expire in September 2021, provides a temporary exception from the application of FINRA rules to SBS, with
